NICSA Transfer Agent Compliance Guide

NICSA TRANSFER AGENT
COMPLIANCE GUIDE

2018 Edition (Updated November 2017)

Overview:

The Transfer Agent Compliance Guide has been prepared to
assist investment companies and their various service providers by providing a comprehensive,
educational resource of current compliance updates and standards as they relate
to the transfer agent function within the asset management industry.

Reed Smith, a
global law firm and a long-time NICSA member, vetted the citations identified
by the NICSA TA Committee and authored Chapter introductions.